proposed amendments, an IPO issuer would prepare and disclose the necessary information in the visual and audio formats to better respond to investors? growing habit of accessing news and information from
Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands
. Audio and/or video recordings, as the case may be, of an entire meeting shall be permitted, including the recording of computer traffic data generated by such recordings. A notice for a unitholders
that should have been recorded on audio tape were reported on a written trading order form instead. Evidence of trading order execution is critical and very useful, especially in case of disputes among
. ____________________ * The execution of trading orders of capital market products based on an automated program that runs product selection and trading placement without interference from any factors and according
? accounts that he borrowed the money from, for other?s or his own benefits. The SEC reviewed and found that Chalerm?s actions were deemed fraudulent, deceitful, interference with clients? assets with the
clients? behalf.The misconducts of Veerachai and Jakkrit were deemed interference with clients? assets in concealment, fabrication of false evidence and exploitation of investors? trading accounts to seek
orders without client authorization are deemed interference with clients assets and unprofessional duty performance without clients best interest in mind. Such misconducts may cause damage to clients and
statement of an offer for sale of securities in the category of units. “investor” means any person interested in investing in units. “statement” means any matter or fact, whether alphabetic, numeric, audio
made via telephone or by electronics mean, a record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its